|
This information is provided by the candidate
As a Field Compliance Coordinator / Securities Principal, my primary responsibilities are to: Implement, facilitate and maintain established compliance programs, projects and materials, especially in the field of financial services (securities products and banking); provide a common frame of reference for sound compliance practices through coordination within Agency Leadership and Corporate Marketplace Compliance; provide advise and expertise to identify specific compliance deficiencies and provide education to ensure exceptional compliance performance within the Agency Field Offices, Agency Leadership, agents, and agent's staff; travel to agent offices on a regular basis to evaluate the status of all compliance related activities; provide feedback to the Zone Compliance Manager on concerns, patterns and/or problems that are identified and provide recommendations on how to address these issues; lead and assist agency field management with compliance presentations; and work with Zone Compliance Manager and Agency Leadership on individual compliance issues.
|
